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Study Guide for Official’s Licenses
The United States Trotting Association
Version 1 11/18/2016
1
2
Contents Introduction and Types of Licenses .............................................................................................................. 4
Presiding Judge (Pari-mutuel) ............................................................................................................... 4
Presiding Judge (Fair) ............................................................................................................................ 4
Associate Judge ..................................................................................................................................... 4
Starter (Pari-mutuel) ............................................................................................................................. 5
Starter (Fair) .......................................................................................................................................... 5
Race Secretary....................................................................................................................................... 5
Patrol Judge, Paddock Judge, and Identifier ......................................................................................... 5
Rule 4 – RACING TERMINOLOGY AND DEFINITIONS ..................................................................................... 6
Rule 5 – TRACK MEMBERS ............................................................................................................................ 7
Rule 6 – RACE OFFICIALS ............................................................................................................................... 8
Rule 7 – HORSE IDENTIFICATION AND PROGRAM INFORMATION ............................................................. 11
Rule 8 – RACING, FARM, CORPORATE OR STABLE NAMES ......................................................................... 12
Rule 9 – ELECTRONIC ELIGIBILITY ................................................................................................................ 13
Rule 10 – CLASSIFICATION OF HORSES ....................................................................................................... 14
Rule 11 – CLAIMING RACES ......................................................................................................................... 15
Rule 12 – NOMINATIONS, ADDED MONEY EVENTS .................................................................................... 16
Rule 13 – ENTRIES, STARTERS REQUIRED, PURSE MONEY DISTRIBUTION ................................................. 16
Rule 14 – ENTRY, DRAWING OF POST POSITIONS, POST DRAW ................................................................. 17
Rule 15 – POSTPONEMENT ......................................................................................................................... 20
Rule 16 – STARTING OF HORSES ................................................................................................................. 21
Rule 17 – DRIVERS AND TRAINERS .............................................................................................................. 22
Rule 18 – RACING AND RACETRACK RULES ................................................................................................ 24
Rule 20 – STANDARDS OF CONDUCT .......................................................................................................... 27
Rule 21 – MEDICATIONS AND DRUGS ......................................................................................................... 28
Rule 22 – FINES, SUSPENSIONS AND EXPULSION ....................................................................................... 29
Rule 23 – PROTESTS AND APPEALS ............................................................................................................. 30
Rule 24 – TIME AND RECORDS – RACE WINNERS ....................................................................................... 31
Horse Identification Worksheet .................................................................................................................. 32
eTrack Reports ............................................................................................................................................ 33
Conditions ........................................................................................................................................... 33
3
Pre-Race Processing ............................................................................................................................ 36
Post Race Processing ........................................................................................................................... 38
Forms .................................................................................................................................................. 39
Steward’s Notice ................................................................................................................................. 39
Notice of Suspension or Fine .............................................................................................................. 40
Appeal Form ........................................................................................................................................ 41
Official Accident Report ...................................................................................................................... 42
Protest ................................................................................................................................................. 43
Sulky Failure Report ............................................................................................................................ 44
Failure To Honor Declaration .............................................................................................................. 45
Notes ................................................................................................................................................... 46
4
Introduction and Types of Licenses
Thank you for your interest in becoming a USTA licensed racing official. This set of study questions,
along with the USTA Rule Book, will assist you as you prepare for the required written exam.
This guide is broken into section by USTA rule. Depending on the class of license for which you are
applying, not all sections will apply. Following is a list of USTA official’s licenses, the requirements for
each and the sections of this guide on which you should concentrate. Note that this guide does not
cover licensing information or test questions for a licensed clerk, charter or program director. Please
contact the USTA for study guides and test questions relating to these licenses.
Presiding Judge (Pari-mutuel)
Minimum of 2 years’ experience as a licensed Associate Judge. Written recommendation from a USTA licensed Presiding Judge for whom you have worked. Satisfactory completion of the required exam. Study sections – all.
Presiding Judge (Fair)
Minimum of 2 years’ experience within the industry. Knowledge of the rules, temperament and qualifications to perform duties required. Written recommendation from a USTA licensed Presiding Judge that you have raced under or
with whom you have worked. Satisfactory completion of the required exam. Please Note: Serving in the capacity as an Associate Judge at county fairs is strongly
recommended if you have no prior officiating experience. Even though the USTA does not license Associate Judges at county fairs, we strongly encourage you to serve in that capacity prior to examination.
Study sections – all.
Associate Judge
Minimum of 2 years’ experience involving 75 racing days per year as a USTA Licensed Official in another capacity, such as Patrol Judge, Paddock Judge, Clerk of the Course, Race Secretary, Starter or Identifier.
In lieu of 2 years’ experience, completion of the Racing Officials Accreditation Program. Satisfactory completion of the required exam. Please note: This license will be a restricted license, only issued upon verification of
employment. The restriction will be lifted after one year of employment and a written letter of recommendation from the licensed official for whom your worked.
Study sections – all.
5
Starter (Pari-mutuel)
Current license as a fair starter. In lieu of a current license as a fair starter, satisfactory completion of the required exam. A letter from a licensed Pari-mutuel Starter and Presiding Judge verifying your qualifications to
operate the starting gate. Once the recommendation has been submitted you are allowed to start selected pari-mutuel
races with a licensed starter in the gate. At least 30 selected pari-mutuel race starts must be satisfactorily completed before the license
can be issued. Study sections – Rules 4, 5, 6, 13, 16.
Starter (Fair)
At least one year experience of driving the starting gate and schooling horses. Letter from a licensed pari-mutuel starter verifying your qualifications to operate the starting
gate. Satisfactory completion of the required exam. Study sections – Rules 4, 5, 6, 13, 16.
Race Secretary
Minimum 2 years’ experience working as an assistant race secretary under a licensed race secretary (work experience needed before the exam can be taken).
Written recommendation from the race secretary and presiding judge. Satisfactory completion of the required exam. Study sections – Rules 4, 6, 7, 9, 10, 11, 12, 13, 14, 20, 22, 24.
Patrol Judge, Paddock Judge, and Identifier
Satisfactory completion of the required exam. Written recommendation from a presiding judge. Study sections – Rules 4, 6, 7, 20, horse identification worksheet.
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Rule 4 – RACING TERMINOLOGY AND DEFINITIONS
Define the following:
1. Claiming race _________________________________________________________________
2. Early closing race _________________________________________________________________
3. Late closing race _________________________________________________________________
4. Appeal ________________________________________________________________________
5. Declaration ________________________________________________________________________
6. Entry ________________________________________________________________________
7. Futurity ________________________________________________________________________
8. Stake ________________________________________________________________________
9. Maiden ________________________________________________________________________
10. Protest ________________________________________________________________________
11. Conditioned race _________________________________________________________________
12. Classified race _________________________________________________________________
13. Handicap ________________________________________________________________________
14. Nomination ________________________________________________________________________
15. Extended pari-mutuel meet ___________________________________________________________
16. Overnight race _________________________________________________________________
17. Coupled entry _________________________________________________________________
18. Inquiry ________________________________________________________________________
7
Rule 5 – TRACK MEMBERS
1. Who prescribes the length of time before a race that horses must be in the paddock?
__________________________________________________________________________________
__________________________________________________________________________________
2. What persons are entitled to admittance to the paddock?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
3. What items of technical equipment are prescribed in the rules as being mandatory at all pari-mutuel
meetings?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
4. When should the official sign be displayed?
__________________________________________________________________________________
__________________________________________________________________________________
5. What action is called for on the part of the judges in the case of a racing accident?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
8
6. What are the physical requirements of a paddock?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
7. Under USTA Rules, what are the requirements at an extended pari-mutuel track with respect to the
use of a breath analyzer?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Rule 6 – RACE OFFICIALS
1. Who is responsible for the records of a meeting?
__________________________________________________________________________________
__________________________________________________________________________________
2. What are the reasons for which an official’s license may be revoked?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
3. What is the maximum fine or suspension the judges may impose without a hearing?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
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4. Who must be present for a hearing per USTA Rules?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
5. May an official at a pari-mutuel track own a horse or deal in horses racing at the track at which he
works as an official?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
6. Under which circumstances should the “objection” or “inquiry” sign be displayed?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
7. On what should all judges concentrate during the post parade and preliminary scoring of the field?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
8. At what meetings are patrol judges required?
__________________________________________________________________________________
__________________________________________________________________________________
9. If no complaint is received from the driver, is it necessary to investigate possible interference or
other violations?
__________________________________________________________________________________
__________________________________________________________________________________
10
10. What are the reasons specified in the rules whereby a horse may be excluded from a race by the
judges?
__________________________________________________________________________________
__________________________________________________________________________________
11. After official placings have been made at the conclusion of a race, is it possible for the judges to alter
their decision and by doing so affect the distribution of betting pools? Explain.
___________________________________________________________________________________
___________________________________________________________________________________
12. Do the rules state that the judges must investigate any act of cruelty seen by them or reported to
them, or is this simply a moral obligation?
__________________________________________________________________________________
__________________________________________________________________________________
13. Who is responsible for the locking down of the pari-mutuel machines?
__________________________________________________________________________________
14. What is the duty of the judges when a track is thrown into darkness due to a power failure during a
race?
__________________________________________________________________________________
__________________________________________________________________________________
15. Whose responsibility is it to furnish complete and accurate program information?
__________________________________________________________________________________
16. When should the photo sign be displayed?
__________________________________________________________________________________
__________________________________________________________________________________
11
17. When does the starter have control over the field of horses?
__________________________________________________________________________________
__________________________________________________________________________________
18. Can a race be made “official” before reports have been received from the patrol judges?
__________________________________________________________________________________
__________________________________________________________________________________
19. The rules list various duties of the judges. In your own words, what are they?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Rule 7 – HORSE IDENTIFICATION AND PROGRAM INFORMATION
1. Under whose name must a horse race?
__________________________________________________________________________________
2. If a horse, which is under lease, is racing, in whose name must he race – the owner’s name or the
name of the lessee?
__________________________________________________________________________________
3. Under USTA Rules, may a horse that has not been tattooed/freeze branded start in a race at a pari-
mutuel track? Explain.
__________________________________________________________________________________
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4. What are the program requirements concerning a pacer racing without hopples?
__________________________________________________________________________________
5. What information must be listed on the printed program and electronic eligibility regarding claiming
races?
__________________________________________________________________________________
__________________________________________________________________________________
6. What is the penalty which may be imposed upon an individual who fails to provide legible, clear and
accurate judge’s sheets?
__________________________________________________________________________________
__________________________________________________________________________________
7. Is it necessary to record permissive medications on a judge’s sheet and printed program?
__________________________________________________________________________________
Rule 8 – RACING, FARM, CORPORATE OR STABLE NAMES
1. What is the status of a horse that is registered under a stable name when one of the members is
suspended?
__________________________________________________________________________________
_________________________________________________________________________________
2. How is a corresponding officer designated?
__________________________________________________________________________________
__________________________________________________________________________________
3. Who is responsible for signing on behalf of a racing, farm, corporation or stable name in regards to
transfers, claims and other documents?
__________________________________________________________________________________
13
4. Must a racing, farm, corporate or stable name be registered with the USTA?
_________________________________________________________________________________
5. Must all members of a racing, farm corporate or stable name be members of the USTA?
__________________________________________________________________________________
Rule 9 – ELECTRONIC ELIGIBILITY
1. Is a horse permitted to start in a race without electronic eligibility?
__________________________________________________________________________________
2. Who may make corrections on an electronic eligibility?
__________________________________________________________________________________
3. If a horse is sold after electronic eligibility is issued, what must be done with regard to the transfer
of ownership?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
4. May a horse 15 years of age or older perform in a race? Explain.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
5. Are there any instances when an electronic eligibility may not be issued? Explain.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
14
Rule 10 – CLASSIFICATION OF HORSES
1. Per USTA Rules, what types of races may be offered at a meet?
__________________________________________________________________________________
2. Who sets the standards to determine whether a horse is qualified to race in overnight events at a
meet?
__________________________________________________________________________________
3. When does a two-year old or three-year old become eligible to be placed on the preferred or
invitational list to race against older horses?
__________________________________________________________________________________
__________________________________________________________________________________
4. When may a race secretary reject the declaration of a horse?
__________________________________________________________________________________
5. When is a horse’s eligibility determined?
__________________________________________________________________________________
6. When may substitute races be used?
__________________________________________________________________________________
__________________________________________________________________________________
7. May an overnight event which fills satisfactorily ever be carried over to the next racing day in favor
of a second division of another overnight event?
__________________________________________________________________________________
__________________________________________________________________________________
8. When may classified races be used?
__________________________________________________________________________________
15
9. When, if ever, is it permissible for a race secretary to select the divisions in which horses will race in
the event a race is split?
__________________________________________________________________________________
__________________________________________________________________________________
Rule 11 – CLAIMING RACES
1. Under USTA Rules, who is eligible to claim a horse from a claiming race?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
2. Under any circumstance may a trainer sign an authorization for a horse to start in a claiming race?
__________________________________________________________________________________
__________________________________________________________________________________
3. How long before post time must a claim be entered for a race?
__________________________________________________________________________________
4. When may a horse that was claimed be transferred or sold?
__________________________________________________________________________________
__________________________________________________________________________________
5. What items, other than verification of electronic eligibility, must be on file with the race secretary’s
office before a horse may race in a claiming race?
__________________________________________________________________________________
__________________________________________________________________________________
6. What types of conditions may be applied to claiming races?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
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7. When, if ever, may a claim be voided?
__________________________________________________________________________________
__________________________________________________________________________________
Rule 12 – NOMINATIONS, ADDED MONEY EVENTS
1. What is the date for closing of nominations of yearlings to stakes? _______ To futurities? _______
2. In the event there are conflicting published conditions for a race, which one will govern?
__________________________________________________________________________________
__________________________________________________________________________________
3. If an early closing event is split into divisions, how much would the sponsor have to add to the
advertised purse?
__________________________________________________________________________________
__________________________________________________________________________________
Rule 13 – ENTRIES, STARTERS REQUIRED, PURSE MONEY DISTRIBUTION
1. In the event an early closing race is declared off because of a lack of declarations, what disposition is
made of the money paid in by the nominators?
__________________________________________________________________________________
__________________________________________________________________________________
2. What is the maximum number of horses that may start in any race?
__________________________________________________________________________________
3. What is the maximum number of horses that may start in an overnight race at an extended pari-
mutuel meeting? ________ Distinguish between a half mile track and a larger track.
__________________________________________________________________________________
__________________________________________________________________________________
17
4. In an overnight event, if only four horses start in a race, what disposition is made of fifth money?
__________________________________________________________________________________
5. Except in the case of stake and futurities, unless otherwise specified in the conditions, how shall the
purse money be distributed in dashes?
__________________________________________________________________________________
__________________________________________________________________________________
6. For stake and futurities, unless otherwise specified in the conditions, how shall the purse money be
distributed?
__________________________________________________________________________________
__________________________________________________________________________________
7. If there are any premiums for which horses have started but were unable to finish due to an
accident, what horse or horses are awarded this money?
__________________________________________________________________________________
__________________________________________________________________________________
8. What number of horses declared to start in an early closing or late closing race at a pari-mutuel
track make it mandatory for the race to be contested?
__________________________________________________________________________________
__________________________________________________________________________________
9. When is it optional for a track to race an event as elimination heats?
__________________________________________________________________________________
__________________________________________________________________________________
Rule 14 – ENTRY, DRAWING OF POST POSITIONS, POST DRAW
1. Unless otherwise specified in the conditions, what time does the declaration box close?
__________________________________________________________________________________
2. If a horse is placed on the steward’s list, what notices are required?
__________________________________________________________________________________
18
3. What are the reasons by which a presiding judge may place a horse on the steward’s list?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
4. For what reasons may the judges require a horse at a pari-mutuel meeting to go a qualifying race?
__________________________________________________________________________________
__________________________________________________________________________________
5. If the length of a race and the number of heats are not specified in the conditions, what length shall
a race be and how many heats shall be raced at an extended pari-mutuel meet? ________________
At a meeting of ten days or less? ______________________
6. How many heats or dashes may a two year old start in a single day and at what distance may he
race?
__________________________________________________________________________________
__________________________________________________________________________________
7. If it was determined the day after a race that the winner was ineligible and the horse finishing
second was awarded first purse money, what would be the effect on the placed horse’s status as a
maiden?
__________________________________________________________________________________
__________________________________________________________________________________
8. How is preference date on a horse determined?
__________________________________________________________________________________
__________________________________________________________________________________
9. If a condition was advertised “non-winners of $3,500” in a given year “mares preferred”, who would
have preference – a mare with a date of an 8/10 preference date or a gelding with an 8/8
preference date? Explain.
__________________________________________________________________________________
__________________________________________________________________________________
19
10. Who is responsible for the coupling of horses?
__________________________________________________________________________________
11. When, if ever, may a horse that was omitted through error be added to a race?
__________________________________________________________________________________
__________________________________________________________________________________
12. Under what circumstances may an entry be “uncoupled”?
__________________________________________________________________________________
13. When must horses be coupled as an entry?
__________________________________________________________________________________
__________________________________________________________________________________
14. How many horses may be drawn as also eligibles?
__________________________________________________________________________________
15. May a horse be barred from a race because he has drawn as an also eligible in another race?
__________________________________________________________________________________
16. When must horses on the also eligible list, not moved in to race, be released?
__________________________________________________________________________________
17. State the procedure to be followed in reopening any event that did not fill.
__________________________________________________________________________________
__________________________________________________________________________________
18. How is preference applied in the event an overnight event has been reopened because it did not fill?
__________________________________________________________________________________
__________________________________________________________________________________
19. May the presiding judge or other official at a non-extended meet remove a horse from the steward’s
list that was placed on the list for being dangerous or unmanageable?
__________________________________________________________________________________
__________________________________________________________________________________
20
20. In your own words, state the rule which provides when starting fees are payable and the
circumstances, if any, under which they may be refunded.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
21. Under the elimination heats plan, when there are two elimination heats, how many horses qualify
for the final? __________________ When there are three or more? _________________________
22. How are post positions drawn for the final heat of an event raced under the elimination heats plan?
__________________________________________________________________________________
__________________________________________________________________________________
Rule 15 – POSTPONEMENT
1. Per USTA Rules, who decides to cancel or postpone races at a pari-mutuel track?
__________________________________________________________________________________
__________________________________________________________________________________
2. What occurs in the case of an early or late closing or overnight event that has been started but
remains unfinished on the last day of the scheduled meet?
__________________________________________________________________________________
__________________________________________________________________________________
3. May a meet be extended to allow for a stake or futurity to be finished?
__________________________________________________________________________________
4. At a meet of five days or less, explain if/how races may be cancelled or postponed.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
21
Rule 16 – STARTING OF HORSES
1. Where shall the starting point on a race track be located?
__________________________________________________________________________________
2. Under what circumstances is it possible for a starter to have a recall after the word “GO” has been
given?
__________________________________________________________________________________
__________________________________________________________________________________
3. At what point are horses placed under the control of the starter?
__________________________________________________________________________________
4. What are the possible reasons for a starter to have a recall?
__________________________________________________________________________________
__________________________________________________________________________________
5. How long may horses be held on the backstretch before the start of a race?
__________________________________________________________________________________
6. List the violations of the starting rule.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
7. In the event there are two tiers of horses and a horse is scratched out of the first tier, how does this
affect the horses in the second tier?
__________________________________________________________________________________
8. When may a horse that has been deemed a starter fail to complete the race?
__________________________________________________________________________________
__________________________________________________________________________________
22
9. List the minimum speeds that must be maintained to allow sufficient time to gradually increase the
speed of the gate.
__________________________________________________________________________________
__________________________________________________________________________________
10. Shall the speed of the gate ever be decreased? Explain.
__________________________________________________________________________________
Rule 17 – DRIVERS AND TRAINERS
1. List the categories of driver’s licenses which are valid for extended pari-mutuel meetings.
__________________________________________________________________________________
__________________________________________________________________________________
2. Under what circumstances may a driver holding a qualifying license race in races at an extended
pari-mutuel meeting other than qualifying races?
__________________________________________________________________________________
__________________________________________________________________________________
3. What are the requirements which must be met before a driver holding a provisional license can be
considered for advancement?
__________________________________________________________________________________
__________________________________________________________________________________
4. State the rule relating to the “dress” of drivers.
__________________________________________________________________________________
__________________________________________________________________________________
5. Explain the provisions of Rule 17, Section 5 relative to obtaining a driver’s license.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
23
6. List the eleven acts which constitute disorderly conduct under Rule 17, Section 14.
1. ______________________________________________________________________________
2. ______________________________________________________________________________
3. ______________________________________________________________________________
4. ______________________________________________________________________________
5. ______________________________________________________________________________
6. ______________________________________________________________________________
7. ______________________________________________________________________________
8. ______________________________________________________________________________
9. ______________________________________________________________________________
10. ______________________________________________________________________________
11. ______________________________________________________________________________
7. Explain the following driver’s license categories:
a. Qualifying
________________________________________________________________________
________________________________________________________________________
b. Conditional
________________________________________________________________________
________________________________________________________________________
c. Provisional
________________________________________________________________________
________________________________________________________________________
8. Explain the provisions of Rule 17, Section 16 relative to obtaining a rider’s license.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
24
Rule 18 – RACING AND RACETRACK RULES
1. What actions are required by a driver whose horse breaks from its gait in a race?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
2. If a driver is guilty of interference and is to be set back in the placings, state the rule which
prescribes how far he may be set back.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
3. If a driver is not mounted in the sulky at the finish of the race, where must the horse be placed?
__________________________________________________________________________________
__________________________________________________________________________________
4. What are the three violations of the breaking rule?
1. ___________________________________________________________________________
2. ___________________________________________________________________________
3. ___________________________________________________________________________
5. Explain the procedure which a driver must follow in filing an objection.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
6. In your own words, distinguish between the application of Rule 18, Section 5(a) and Rule 18, Section
5(b) (the rule on inconsistent performance).
__________________________________________________________________________________
__________________________________________________________________________________
25
7. Under USTA Rules, may a penalty which is imposed for an act of interference be in the form of either
a fine or suspension from driving? __________________ Explain.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
8. If there has been no failure on the part of the driver in complying with the “breaking rule” may he
still be set back? _______________ Explain.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
9. In your own words, state the rule relating to the substitution of drivers.
__________________________________________________________________________________
__________________________________________________________________________________
10. If a driver driving a horse coupled in betting as part of an entry is guilty of interference, is it
necessary for the judges to penalize the entire entry?
__________________________________________________________________________________
_________________________________________________________________________________
11. There are thirteen sub-sections of Rule 18, Section 1 (driving violations). List them.
1. ___________________________________________________________________________
2. ___________________________________________________________________________
3. ___________________________________________________________________________
4. ___________________________________________________________________________
5. ___________________________________________________________________________
6. ___________________________________________________________________________
7. ___________________________________________________________________________
8. ___________________________________________________________________________
9. ___________________________________________________________________________
10. ___________________________________________________________________________
11. ___________________________________________________________________________
12. ___________________________________________________________________________
13. ___________________________________________________________________________
26
12. In your opinion, what factors should be considered by officials in determining whether or not a
horse was raced inconsistently?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
13. What shall be the time between separate heats of a single race?
__________________________________________________________________________________
__________________________________________________________________________________
14. What are the two reasons by which a horse that fails to finish after starting in a heat may return for
the next heat?
__________________________________________________________________________________
__________________________________________________________________________________
15. In your own words, state the rule which relates to a horse wearing hopples.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
16. Per USTA Rules, what are the mandatory penalties for the brutal use of a whip or crop or excessive
or indiscriminate use of the whip or crop?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
27
Rule 20 – STANDARDS OF CONDUCT
1. Explain the rule which relates to an owner, trainer or driver betting on a horse other than one they
represent, handle or have an interest in.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
2. When a mare is spayed, where must this information be noted?
__________________________________________________________________________________
__________________________________________________________________________________
3. What responsibilities are placed upon an owner or trainer of a horse that has been nerved?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
4. In your own words, state the provision in the rules that fixes the responsibility for the condition of
the horse.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
5. Explain the financial responsibility rule.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
28
Rule 21 – MEDICATIONS AND DRUGS
1. What horses are subject to a blood or urine test at every pari-mutuel track?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
2. What do the rules prescribe shall be procedure followed by the presiding judge in the event he/she
is notified by the laboratory that there has been a positive test finding?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
3. When a horse has had a positive test, what changes must be made on the electronic eligibility and
how is it indicated on the program and judge’s books?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
4. Do the rules prescribe a definite time for a hearing to be set after a positive test finding?
__________________________________________________________________________________
__________________________________________________________________________________
5. When a positive test is charged to the winner of the race, what becomes of the official time of the
race?
__________________________________________________________________________________
6. There is a definite rule on the medication of horses that are racing. What is the rule?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
29
7. What is required if an owner, trainer, driver or authorized agent who has the care, custody and/or
control of the horse refuses to submit a horse for testing?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
Rule 22 – FINES, SUSPENSIONS AND EXPULSION
1. When does a penalty become effective?
__________________________________________________________________________________
__________________________________________________________________________________
2. In the event of a fine or suspension, what notices are necessary?
__________________________________________________________________________________
__________________________________________________________________________________
3. May the ownership of a horse be transferred in order to circumvent a suspension?
__________________________________________________________________________________
__________________________________________________________________________________
4. Under any circumstances may a horse race that is owned by a person under suspension?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
5. Explain the rule which deals with the effect of a minor penalty on the future driving engagements of
a driver.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
30
Rule 23 – PROTESTS AND APPEALS
1. What is the time limit requirement which must be met in the filing of an appeal?
__________________________________________________________________________________
__________________________________________________________________________________
2. Who is eligible to file a protest against a horse?
__________________________________________________________________________________
__________________________________________________________________________________
3. When must a protest be filed?
__________________________________________________________________________________
__________________________________________________________________________________
4. When an appeal is made, is the appellant always granted a stay of suspension? Explain.
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
5. In the event a horse starts under protest and there is nothing further done to sustain the charges,
when may winnings which the protested horse may have won be paid?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
6. What penalty may be imposed on an official who refuses to accept a protest or an appeal?
__________________________________________________________________________________
__________________________________________________________________________________
__________________________________________________________________________________
31
Rule 24 – TIME AND RECORDS – RACE WINNERS
1. If a horse is disqualified for interference in winning a race, can the horse placed first get credit for
the time of the race?
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2. What age(s) of horse may perform in a time trial and what times must they equal or beat?
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3. In the case of a malfunction of an approved electric timer, how may a race be timed?
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4. In the case of a dead heat for first place, which horse, if any, receives the record?
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Horse Identification Worksheet
____________________Abbreviations of Markings Used for Identification_____________________
AND &
INTO INT
ANKLE ANK
IRREGULAR IRR, IR
BEHIND BHND, BEH
LARGE LG
BLACK BLK, BL
LEFT FRONT LF
BLAZE BLZ
LEFT HIND LH
BOTH BO
LOWER LOW LWR
BRANDED BRND
LOWER LIP LWLIP, LWLP
BROKEN BRKN
MUZZLE MUZ, MZ
CONNECTING CON, CO
NECK NK
CORONET COR, CO
NOSE NS
CRESCENT CRSNT, CRES
NOSTRIL NSTL, NST
DARK DRK, DK
OUTSIDE OUT, OU
ELONGATED ELNG
PASTERN PAST, PAS, PA
EXTENDING EXT, EX
QUARTER QRTR, QTR
FAINT FNT
RIGHT FRONT RF
FETLOCKS FET
RIGHT HIND RH
FOREHEAD FRHD, FHD
SCATTERED SCAT, SC
FRONT FR
SHOULDER SHLD
HEAD HD
SMALL SM
HIGHER HI
UPPER LIP UPLIP, UPLP
HIND ANKLES HDANKS
WITH W/
INSIDE INS, IN
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eTrack Reports
There are many reports available to licensed officials via eTrack, which is the system used by the race
office to complete daily work. This section will provide a sample and description of the most commonly
used reports from each subsection – conditions, pre-race processing and post-race processing.
Conditions
Entries Exception Report
The entries exception report is a comprehensive report consisting of several sections. The first lists all
horses entered into a condition sheet in alphabetical order along with each tattoo or freezebrand,
Coggins date and state issued, trainer name, and judges’ notes. In addition, a horse that does not have
US lifetime or Canadian yearly eligibility will be denoted with “No EE”.
The next section of the exception report lists trainers with more than one horse entered into the same
event and horses entered into the same event with common ownership. Both of these are used to
determine if entries need to be split into separate divisions or if coupled entries are needed.
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The last section of the exception report is membership status. This section lists, by event, any owner,
driver or trainer that has expired USTA membership.
Eligibility/Draw Eligibility
The eligibility report is used by the race secretary to check the eligibility of a horse for the event in which
it has been entered. The draw eligibility, shown below, includes all the same information as the
eligibility, but also includes slots that may be used to denote the post position, head number and race
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number, similar to a declaration blank. In most race offices, this report is printed and used in the draw
instead of using hand written declaration blanks.
Entry Checklist
The entry checklist is generated for each event of a condition sheet and lists every horse entered, in
alphabetical order, as well as preference dates, money won last “x” starts, sex, and age. Slots are also
provided to denote the post position drawn and division (if there are multiple divisions) for each horse
or to list why a horse was not used in the race (i.e. out by date, moved to another event, requested out,
etc.). This report is often posted in the race office following a draw.
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Pre-Race Processing
Identifier’s List
The most commonly used report within the pre-race section of eTrack is the identifier’s list. It is used by
the identifier and/or paddock judge to correctly identify horses as they check into the paddock prior to
racing.
This report also includes a driver and trainer paddock list and can be used for drivers and trainers to sign
into the paddock.
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Daily Medication List
The daily medication list lists all horses that are scheduled to receive permissible medication by race.
The tattoo/freezebrand, trainer and owner name and a slot for a signature are also provided on the
report.
Lasix Sign In
The Lasix sign in sheet is a variation of the medication list. This sheet provides slots for the amount of
Lasix being given as well as a slot for a signature and time given.
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Post Race Processing
Judges Sheets
A judges sheet is the official chart of a race that must be signed by the presiding judge. Before signing
off on a race, judges must review all information carefully and give any changes to the charter. Once the
presiding judge has signed off on the race, the results are electronically submitted to the USTA. Judges
sheets are also used by the horsemen’s bookkeeper to pay out purses.
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Forms
The USTA has made various forms available electronically. These forms may be accessed through the
main menu of eTrack and also via this link: http://www.ustrotting.com/forms/track_forms.cfm. Sample
forms are listed below.
Steward’s Notice
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Notice of Suspension or Fine
Fines/suspensions are most often entered electronically via the USTA Fines and Suspensions System
(FAS), but in the rare case that a judge does not have access to this system (i.e. certain county fairs), this
form may be used and sent to the USTA for entry.
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Appeal Form
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Official Accident Report
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Protest
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Sulky Failure Report
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Failure To Honor Declaration
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Notes
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